A top priority at Cadaret Grant.

While we recognize that you have a way you like to do business and respect your individual style, we’ll help you adhere to regulation.

One way is by addressing issues on the corporate level. For you, this means less time struggling to understand complicated rules and more time doing business with clients. We provide onsite examinations and educational meetings to help ensure you’re on the right track and upholding the standards of ethical business. We participate in industry organizations and advocate the best interests of independent broker-dealers to eliminate some of the burden.

We also communicate frequently about pending rule changes and how to comply with new legislation. And when you have a unique situation that requires guidance, we’re just a phone call away. We’ll find a solution together.

Doug Ketterer

Chief Executive Officer and Founding Partner

The vision and influence to advance an industry. Doug is passionate about the value of personal advice. He believes that customized solutions created by one advisor, working with one client, aren’t just the core of wealth management—but the key to its future. A well-known Wall Street thought leader with over 30 years in the industry, Doug is a sought-after source of ideas that elevate the advisor-client experience. With insight gained as a long-time Morgan Stanley executive, and a clear-eyed commitment to the principles he preaches, Doug is in the right place to lead Atria, its subsidiaries—and the advisors they serve—to a better future.